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ACOR ACES Intro Class

Introduction to Penn State Research Administration
by

David Richardson

on 7 September 2013

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Transcript of ACOR ACES Intro Class

You ask the company’s procurement official why this clause is so important to her, and she gets angry. “Listen,” she explains to you. “This research that you are doing for us is only a small part of a much larger research agenda. We’re trying to prove that the Clean Air Act is unfair to coal-burning industries, and we’ll be damned if we’re going to let you spend our money to develop a publication that fails to corroborate our desired conclusion.” OK . . .
What now?
Case Study #2 – Part C
Failure to submit
financial
or
technical reports
may impact more than the project in question.
Expenditures should be
allowable
,
allocable
, and
consistent
with PSU policy. If not, sponsors may disallow the costs. The burden of such disallowances falls on the college and/or department.
Non-Financial approved protocols are required if the project involves
human
or
animal subject research
,
biohazards
,
radioisotopes
,
export compliance
, or a significant
financial interest
.

When the agreement is
fully executed
(i.e., signed by all parties), the unit administering the project sets up an account (
AURA
) and budget (
BARA
) in the IBIS financial system. The Office of Research Accounting releases the account number.

Federally-funded projects are subject to
cost principles
and
administrative requirements
specified in the
OMB Circulars A-21, A-110, & A-133
. Federal contracts are subject to the
Federal Acquisition Regulations
(FAR).
Faculty members may sometimes send a “
white paper
” to a colleague of theirs at a funding agency. White papers are not considered formal proposals, and any budget submitted with a white paper should be marked “
draft
.”
The format of the proposal is normally specified by the funding solicitation, but a typical proposal includes a
narrative
and a
budget
, at the very least. The narrative is also sometimes referred to as the
scope of work
.
The PI becomes annoyed at your indecision. She asks you to transfer several months of her salary from another one of her grants to this expiring grant. She also asks you to order two laptops off of the expiring grant, one for herself and one for a graduate student who never worked on the project.


What do you say?
Case Study #1 – Part C
You inform your PI that her project expires in two months and that she still has a balance of $55,000. She tells you to request a no-cost extension, but you remind her that you’ve already extended the grant twice, and the sponsor has informed you that it will not be extended again. She asks your advice.

What do you tell her?
Case Study #1 – Part A
The PI insists that she’s been working with this company for years, and they’ve never held up any of her publications in the past. Her research dean also calls you and urges you to approve the contract. He explains to you that the PI is up for tenure next year/ Losing this contract would significantly hurt her tenure prospects.
What do you do?
Case Study #2 – Part D
You go back to the company and tell them that your institution is also very committed to quality. You suggest a “confer and consult” clause instead of a “review and approval” clause. You explain to the sponsor that you cannot grant them editorial control, but that your PI will be happy to take their input into consideration before publishing her results. They refuse.
How do you proceed?
Case Study #2 – Part B
You receive a contract from an energy company. According to the contract, your PI cannot publish anything without the “prior review and approval” of the sponsor. You inform the company that you have to protect the academic freedom of your PI. The company insists that it needs to maintain “quality control” of the research it supports.
What do you do?
Case Study #2 – Part A
A few projects require detailed financial reporting at the end of the project. Some even require a
program audit
of the funds. Most projects at Penn State do not require project-specific audits, because Penn State conducts a university-wide audit pursuant to the Single Audit Act. These audit requirements are described in
OMB Circular A-133
.
Major changes to project personnel, work scope, or period of performance almost always require the
prior approval
of the sponsor.
Some sponsors provide a lot of flexibility for
rebudgeting
, but other sponsors reserve the right to reject or approve any proposed
budget revisions
.
It is important for the college and departmental administrators to
review the terms and conditions
to make sure the agreement is followed. For example, some sponsors may prohibit procurement of equipment.
When agreements include inappropriate terms, the contract negotiator must negotiate better terms. If such negotiation is unsuccessful, it may be necessary to
reject the agreement
.
TRUE
or
FALSE
PSU Investigators have the authority to submit proposals directly to sponsor.
You ask the PI what project-related costs she can charge to the project. She informs you that the project was finished months ago. The data collection and analysis is done. In fact, she’s already written the final report and submitted a draft to the sponsor.

Now what do you suggest?
Case Study #1 – Part B
The Office of the Vice President for Research has oversight over the sponsored portfolio.
22
RESULTS
Indirect
Costs
Anything less than full indirect is unacceptable
The more direct cost the better
Can't we all just get along?
?
Investigator
Submission Deadlines
Proposals shall be submitted within 2 days of deadline
You are lucky that I'm even submitting a proposal
Help!
Cost
Overruns
Projects
shall not be overspent!
What do you mean it's restricted?
Save Me!
Institution
An investigator informs you that she needs to secure the specialized services of a consultant on her NIH funded project.
How do you respond?
An investigator overspends his NSF account by $13.24 and seeks your assistance in reconciling the account.
How would you handle the reconciliation?
Score of 1 to 3
Rigid adherence to policy and procedures.
Word of warning, you may be a sadist.
What kind of Research Administrator are you
An investigator informs you that she has a potential conflict of interest on a pending award from the U.S. Department of Energy.
The award is expected to arrive any day.
Do perspectives change as you move along the scale of administration?
Institutional
Department
College
Lab
Science
Compliance
Service
1.
You ask her if the consultant was listed in the original award. If not, you inform her that she is out of luck and she should have justified this at the time of the proposal submission. To reinforce your position, you email, leave a voice mail, and personally stop by her office to tell her in-person that she should have included the consultant at submission time.

2.
You review the award to determine if the consultant was listed in the original award. If yes, then all is well and she may move forward with establishing the consultant agreement in accordance with university policy. If no, you inform her that approval is needed from NIH and that you will assist in securing the approval.

3.
You inform her that this will not be a problem for NIH expects things like this to happen and your institution is more than happy to have her secure the services of the consultant on general funds. Once the consultant has completed the job, you will just journal voucher the charges onto the NIH project and all is well.
1.
Transfer the overspent amount to the investigator's departmental funds and fire off a letter of reprimand, being sure to copy the department head, informing the investigator of his misdeed and indicating that this can never happen again.

2.
Transfer the small amount overspent to the department's returned overhead funding thereby reconciling the account to zero and allowing the account to be closed.

3.
Tell the investigator that you will pick another one of his active projects and transfer the cost overun to the project that has the most money.
1.
You inform her that she should call the sponsor immediately to stop the award process. In addition, you take the liberty of calling the conflict of interest committee chair to see to it that the conflict is thoroughly investigated. You inform the investigator that she will be hearing from the conflict of interest committee chair.

2.
You ask the investigator if the potential conflict was disclosed at the time of the proposal submission. If yes, you ask if the conflict was reviewed and determined to be significant enough to warrant further steps by the institutional conflict of interest committee. If yes, you confirm a mitigation plan is on file and inform the investigator that unless something has changed since the proposal submission, all is well.

3.
You inform the investigator to not worry about it since conflicts happen all the time and especially to faculty who are great at bringing home the bacon!
Score of 4 to 6
Advocates flexibility within reason. You are pragmatist that advocates practicality over theory.
Score of 7 to 9
Views policies as a necessary evil. Make sure you have a defense lawyer on retainer!
Maintaining
Compliance

is the highest priority at the institutional level.
The
Science
is the prime focus at the investigator level.
Maintaining a high level of
Service
is mandatory at the department and lab level.
Investigator
Kaplan
The research administrator is frequently viewed as an impediment to the research but a
necessity for the organization
.
Conduct Research
Institution
CATCH
Maintain Organization
Investigator
Role
versus

Responsibility
Research
Administrator
?
How can you successfully administer different perspectives
?
Have the roles and responsibilities changed over the years?
Be accepting of multiple perspectives
Be consistent in your daily decisions
Demand process improvements
Communicate with your peers
Engage your research community
Envision yourself as part of the team
Kaplan
The Research Administrator can
never take credit
for the accomplishments within the organization but must always be ready to
receive the complaints
of those who feels he interferes with the accomplishment of these goals.
On any given day, Penn State has
5,150
active awards,
1,150
unique sponsors, nearly
2,700
investigators,
33
colleges and institutes, and
256
departments engaged in sponsored
research
,
instruction
, or
outreach
.
No.
Amount
Research
Outreach
$1,141 M
191
$65 M
4,813
Instruction
145
$58 M
Active Awards
Demographics
PSU
As of September 5, 2013
Central
Investigator
Department
Department
Investigator
Central
Central
Department
Being a Research Administrator is similar to being a

Cat Herder!
Investigator
Norman Kaplan, Assistant Professor in the Department of Sociology and Anthropology, Cornell University in Administrative Science Quarterly, Vol. 4, No. 1, June, 1959
Good policies are required, but not what makes for good research administration.
Good administration is derived from well trained, empowered, and flexible staff.
Financial Reporting
Expenditure
Survey

John Hanold
Interim Director, Office of Sponsored Programs

Pamela Righter
Assistant Director, Applied Research Lab
Associate Director of Sponsored Programs
ACES
Certificate One
Module One
Grants Management Overview
?
What is a
research
administrator?
Demographics
What is a Research Administrator?
Perspectives
Lifecycle of a Sponsored Project
Roles and Responsibilities
Challenges and Opportunities
Overview
Find the Right Balance
Research
Accounting
Technology
Management
Purchasing
Services
Sponsor
Research
Affairs
General
Counsel
Governmetnal
Affairs
Research
Protections
Corporate &
Fdn. Relations
Corporate
Controller
Property
Inventory
Graduate
School
Sponsored
Programs
Risk
Management
PSU
Investigator
Delegation
Management
40
Delegates
Decentralized
Administration
3 - Science
2 - Engineering
2 - EMS
2 - AG
2 - Liberal Arts
2 - HHD
1 - Education
1 - OSP
1 - Research Acct.
1/2 - IST
1/2 - Erie
ECOS
OSP Delegates
Lifecycle
Time
Each sponsored project
has a unique
lifecycle
!
Demographics
"The
research administrator
is seen as a 'man in the middle,' caught between the frequently conflicting goals of the research scientist and the research organization. In his attempts to maintain controls (many of which may be required by 'higher authority') over the allocation and use of scarce resources of the organization, the administrator is the focal point for scientist's grumbling about 'red tape' and worse, unnecessary interference with research."
Perspectives
Research Administrator
15th
Roles and Responsibilities
Challenges and Opportunities
Case Studies
(A) Accountable The one ultimately answerable for thorough completion of deliverable or task.
(R) Responsible Those who perform the work to achieve the particular task.
(I) Informed Those who are informed as to the status of a particular task.
Responsibilities
(A) Accountable The one ultimately answerable for thorough completion of deliverable or task.
(R) Responsible Those who perform the work to achieve the particular task.
(I) Informed Those who are informed as to the status of a particular task.
Responsibilities
Handouts: PSU Responsibility Matrix
Compare PSU
to UCSF
Receives
Funding
Submits
Proposal
Negotiates
Award
Investigator
has a
eureka
moment!
(cc) image by nuonsolarteam on Flickr
Targets
Sponsor
Awards are made to
Penn State University
.
The
dean and department head
are responsible for ensuring the work scope is reasonable and feasible.
If a sponsor decides to fund PSU, the sponsor will decide whether to issue a
gift
,
grant
, or
contract.
PRE AWARD
POST AWARD
Find
Funding
Proposal
Development
Proposal
Submission
Award
Negotiation
Project
Setup
Award
Closeout
Award
Management
Establish
Budget
Invoice
Sponsor
Research Administrators are
typically categorized as either
Pre-Award
or
Post-Award
Award
Setup
Close
Out
Financial
Reporting
The lifecycle will be determined by the
award type
, the
sponsor
, and the
scope of work
.
The sponsor may be a
federal agency
,
corporation
,
foundation
, state agency, or a
consortium
.

There are
15 sponsor types
in the Strategic Information System (SIMS).
Proposals are categorized as
solicited
or
unsolicited
. A solicited proposal is in response to a published request for proposals (
RFP
).
How many
proposals
does
PSU submit a year?

a. Over
3,000
b. Over
4,000
c. Over
5,000
d. Over
6,000
The
Principal Investigator
is responsible for ensuring that the scope of work and budget are in line.
The
central contracting office
is responsible for ensuring that the award is compliant.

Some agreements allow us to incur costs prior to execution of the agreement (“
pre-award costs
”).
Funding may be awarded in one lump sum for the entire
period of performance
or awarded one year at a time. Awards are established as either
cost reimburseable
or
fixed price
.
BEGIN
END
Technical
Reporting
Accounts
Receivables
EEB Hub Support
Accounts Receivables
URS Task Closeout
Period of Performance
Introductions - 5 Mins
Demographics - 15 Mins
Research Admin - 30 Mins
Perspective - 30 Mins
BREAK - 15 Mins
Lifecycle - 30 Mins
Roles - 35 Mins
Challenges - 20 Mins
Q&A - 15 Mins

Case Studies
Penn State is Unique
Only
1
in
4
dollars awarded
are from NIH and NSF
http://www.research.psu.edu/about
http://www.fandb.psu.edu/
The Office of Finance and Business
provides financial oversight over the sponsored portfolio.
Handout: Gift vs Grant vs Contract


Grow the sponsored portfolio in lieu of federal funding cuts.

Remain compliant with growing regulations and declining resources.

Reduce administrative burden on managing sponsored projects.

Increase funding from industry and foundations.

Evaluate processes and automate when applicable.

Develop centralized tools for managing portfolios.
Challenge
Opportunity
Questions?
Office of Research Affairs
http://pennstatehershey.org/web/researchaffairs/home
Full transcript